SEC Form 4 · accession 0000049071-17-000001

HUMANA INC · HUM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Dec 31, 2016

Accepted (ET)

Jan 4, 2017 · 4:11 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000049071

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Humana Common	holding	—	—		—	2,276	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Unit^F2	—	Dec 31, 2016	A	153	A	—	—	Humana Common	153	8,846	D
Stock Unit^F3	—	Dec 31, 2016	A	143	A	—	—	Humana Common	143	785	D
Restricted Stock Units^F1,F4	—	Jan 3, 2017	A	761	A	—	—	Humana Common	761	761	D
Stock Unit^F1	—	holding	—	—	—	—	—	Humana Common	23,024	23,024	D

F1Annual Director's fee payable in stock units, deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
F2Director's cash fee elected to be converted into stock units, deferred at the election of the Reporting Person until his resignation of services as a director at which time the stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule 16(b)-3(d)(1).
F3Director's dividend payment reinvested into stock units on vested and deferred stock units, deferred in accordance with the Plan until his resignation of services as a director at which time the deferred dividend stock units will be payable in Humana Inc. common stock on a 1-for-1 basis, exempt pursuant to Rule16(b)-3(d).
F4Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1)&(3) under Company's 2011 Plan.100% of the award is vesting on 12/31/2017.